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First Trust Small Cap Growth AlphaDEX Fund (FYC) Institutional Ownership

First Trust Small Cap Growth AlphaDEX Fund logo
$114.43 +0.80 (+0.70%)
Closing price 03:59 PM Eastern
Extended Trading
$114.39 -0.04 (-0.03%)
As of 04:10 PM Eastern
Extended trading is trading that happens on electronic markets outside of regular trading hours. This is a fair market value extended hours price provided by Massive. Learn more.
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Institutional Ownership Changes (13F Filings) for First Trust Small Cap Growth AlphaDEX Fund (NASDAQ:FYC)

Number of
Institutional Buyers
(last 12 months)
99
Total
Institutional Inflows
(last 12 months)
$171.77M
Number of
Institutional Sellers
(last 12 months)
49
Total
Institutional Outflows
(last 12 months)
$25.88M
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Skip Chart & View Institutional Buying and Selling Data

FYC Institutional Buying and Selling by Quarter

First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
5/19/2026 Western Wealth Management LLC11,492$1.11M0.0%+4.7%0.123%
5/19/2026 Bank of America Corp DE244,266$23.69M0.0%+21.2%2.612%
5/19/2026 Arkadios Wealth Advisors2,610$253K0.0%N/A0.028%
5/18/2026 Royal Bank of Canada171,140$16.60M0.0%+4.4%1.830%
5/15/2026 Gateway Wealth Partners LLC17,972$1.74M0.1%+105.3%0.192%
5/13/2026 Cetera Investment Advisers289,684$28.09M0.0%+13.6%3.098%
5/8/2026 PNC Financial Services Group Inc.92,515$8.97M0.0%+20.5%0.989%
5/7/2026 World Equity Group Inc.5,973$579K0.1%-3.1%0.064%
5/5/2026 D.A. Davidson & CO.10,735$1.04M0.0%N/A0.115%
5/5/2026 Geneos Wealth Management Inc.20,549$1.99M0.0%+41.8%0.220%
5/4/2026 Bedel Financial Consulting Inc.77,173$7.48M0.8%+3.7%0.825%
5/1/2026 Fifth Third Bancorp6,147$596K0.0%N/A0.066%
4/30/2026 Kestra Advisory Services LLC20,131$1.95M0.0%+13.7%0.215%
4/30/2026 Quantum Portfolio Management LLC13,125$1.27M0.0%-1.2%0.140%
4/29/2026 Richmond Investment Services LLC146,944$14.25M2.3%+2.7%1.572%
4/29/2026 Warner Group LLC19,069$1.85M1.2%+62.9%0.204%
4/28/2026 Stephens Inc. AR3,946$383K0.0%+18.1%0.042%
4/28/2026 Paller Financial Services Inc31,793$3.08M2.6%-2.4%0.340%
4/27/2026 Private Advisor Group LLC27,078$2.63M0.0%+4.5%0.290%
4/24/2026 Barnes Pettey Financial Advisors LLC4,614$447K0.2%+39.1%0.049%
4/22/2026 Janney Montgomery Scott LLC53,085$5.15M0.0%+17.9%0.574%
4/22/2026 Sylvest Advisors LLC8,510$825K0.4%+1.2%0.092%
4/21/2026 Echo Wealth Management LLC3,440$334K0.2%-23.4%0.037%
4/21/2026 Independent Wealth Network Inc.4,896$475K0.1%-47.6%0.053%
4/20/2026 Kestra Private Wealth Services LLC3,588$348K0.0%-7.7%0.039%
4/17/2026 Certified Advisory Corp19,637$1.90M0.2%+2.3%0.212%
4/17/2026 Stonebridge Financial Group LLC MO3,840$372K0.3%N/A0.042%
4/16/2026 Founders Financial Securities LLC9,795$1.02M0.1%-44.2%0.106%
3/17/2026 Rockefeller Capital Management L.P.508$49K0.0%-87.3%0.006%
2/18/2026 NewEdge Advisors LLC915$88K0.0%+137.7%0.010%
2/18/2026 IHT Wealth Management LLC2,200$211K0.0%N/A0.024%
2/17/2026 Cetera Investment Advisers255,008$24.51M0.0%+13.6%2.818%
2/17/2026 Equitable Holdings Inc.55,876$5.37M0.0%-5.5%0.617%
2/17/2026 Osaic Holdings Inc.93,138$8.95M0.0%+26.0%1.029%
2/17/2026 Advisory Services Network LLC2,098$202K0.0%+91.1%0.023%
2/17/2026 &PARTNERS14,221$1.37M0.0%N/A0.157%
2/17/2026 Blair William & Co. IL325$31K0.0%N/A0.004%
2/17/2026 Royal Bank of Canada163,957$15.76M0.0%+14.0%1.812%
2/16/2026 MML Investors Services LLC66,703$6.41M0.0%+1.3%0.737%
2/16/2026 Mariner LLC2,825$272K0.0%+13.0%0.031%
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2/16/2026 Aptus Capital Advisors LLC2,136$205K0.0%N/A0.024%
2/13/2026 Kestra Advisory Services LLC17,709$1.70M0.0%-0.8%0.196%
2/13/2026 First Trust Advisors LP216,354$20.80M0.0%-12.0%2.391%
2/13/2026 Golden State Wealth Management LLC323$31K0.0%-69.7%0.004%
2/13/2026 Wells Fargo & Company MN363,672$34.96M0.0%+28.9%4.018%
2/12/2026 Jane Street Group LLC35,146$3.38M0.0%-26.0%0.388%
2/12/2026 Orion Porfolio Solutions LLC4,184$402K0.0%+10.5%0.046%
2/12/2026 Richmond Investment Services LLC143,085$13.75M2.4%+2.6%1.581%
2/12/2026 Index Technologies Group LLC8,075$776K0.8%N/A0.089%
2/12/2026 Quantum Portfolio Management LLC13,289$1.28M0.6%-18.7%0.147%
2/12/2026 Commonwealth Equity Services LLC38,973$3.75M0.0%+18.3%0.431%
2/12/2026 Steward Partners Investment Advisory LLC20,640$1.98M0.0%+14.0%0.228%
2/11/2026 Gateway Wealth Partners LLC8,754$841K0.1%+1.5%0.097%
2/11/2026 Janney Montgomery Scott LLC45,037$4.33M0.0%+53.2%0.498%
2/11/2026 Capital Analysts LLC853$82K0.0%-30.3%0.009%
2/11/2026 LPL Financial LLC1,183,630$113.77M0.0%+43.0%13.079%
2/11/2026 O Shaughnessy Asset Management LLC2,302$221K0.0%N/A0.025%
2/10/2026 Clear Point Advisors Inc.7,522$723K0.6%-3.0%0.083%
2/10/2026 Hazlett Burt & Watson Inc.1,650$158K0.1%+65.0%0.018%
2/10/2026 Founders Financial Securities LLC17,560$1.69M0.1%N/A0.194%
2/10/2026 Northwestern Mutual Wealth Management Co.43,329$4.17M0.0%+123.5%0.479%
2/9/2026 Kingsview Wealth Management LLC44,510$4.28M0.1%-37.6%0.492%
2/9/2026 Strategic Equity Management9,374$901K0.3%-7.6%0.104%
2/9/2026 Harbour Investments Inc.20,988$2.02M0.0%+7.4%0.232%
2/9/2026 Prospera Financial Services Inc4,920$473K0.0%-15.1%0.054%
2/6/2026 Empirical Asset Management LLC16,635$1.60M0.2%+64.0%0.184%
2/6/2026Global Retirement Partners LLC1,187$114K0.0%+146.8%0.013%
2/6/2026 IFP Advisors Inc88,816$8.54M0.2%-0.6%0.981%
2/6/2026 PNC Financial Services Group Inc.76,769$7.38M0.0%+21.1%0.848%
2/6/2026 Warner Group LLC11,706$1.13M0.7%+372.0%0.129%
2/5/2026 Stephens Inc. AR3,341$321K0.0%+29.5%0.037%
2/5/2026 Moneywise Inc.12,738$1.22M0.5%-50.4%0.142%
2/5/2026 Western Wealth Management LLC10,981$1.06M0.0%+25.8%0.123%
2/5/2026 Proactive Wealth Strategies LLC10,905$1.05M0.4%+13.1%0.122%
2/4/2026 Moneco Advisors LLC13,703$1.32M0.1%-1.1%0.153%
2/3/2026 Eclectic Associates Inc. ADV153,918$14.79M2.3%+2.6%1.720%
2/2/2026 Truist Financial Corp13,614$1.31M0.0%+38.2%0.152%
2/2/2026 Benjamin Edwards Inc.4,490$435K0.0%-12.7%0.050%
2/2/2026 Mutual Advisors LLC3,439$331K0.0%N/A0.038%
2/2/2026 Oppenheimer & Co. Inc.10,379$998K0.0%+2.2%0.116%
1/30/2026 Barnes Pettey Financial Advisors LLC3,317$319K0.2%N/A0.037%
1/29/2026Comerica Bank5,923$569K0.0%+56.0%0.068%
1/29/2026 Ashton Thomas Private Wealth LLC3,897$375K0.0%+8.9%0.045%
1/29/2026 UBS Group AG84,256$8.10M0.0%+49.6%0.963%
1/29/2026 Concurrent Investment Advisors LLC99,281$9.54M0.1%+0.7%1.135%
1/28/2026 Geneos Wealth Management Inc.14,495$1.39M0.0%+4.0%0.166%
1/28/2026 Bedel Financial Consulting Inc.74,442$7.16M0.8%+1.1%0.851%
1/27/2026 PFG Advisors3,174$305K0.0%+4.6%0.036%
1/27/2026 Waterfront Wealth Inc.3,755$384K0.1%+14.8%0.043%
1/26/2026 Ferguson Shapiro LLC9,411$905K0.3%+9.4%0.110%
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1/26/2026 Private Trust Co. NA2,611$251K0.0%+16.4%0.031%
1/26/2026Pursuit Wealth Management LLC24,013$2.31M2.0%N/A0.281%
1/26/2026 CWM LLC1,108$106K0.0%+19.9%0.013%
1/26/2026 Wealth Effects LLC2,550$245K0.1%-10.7%0.030%
1/23/2026 Greenup Street Wealth Management LLC40,514$3.89M0.5%N/A0.479%
1/22/2026 Vista Investment Partners II LLC25,961$2.50M1.1%+47.5%0.307%
1/22/2026 Brookwood Investment Group LLC9,788$941K0.1%N/A0.116%
1/22/2026 Echo Wealth Management LLC4,489$431K0.3%N/A0.053%
1/21/2026 New Wave Wealth Advisors LLC108,354$10.42M3.8%+1.2%1.282%
1/21/2026 Sound Income Strategies LLC1,934$197K0.0%N/A0.023%


FYC Institutional Ownership - Frequently Asked Questions

During the previous two years, 151 institutional investors and hedge funds held shares of First Trust Small Cap Growth AlphaDEX Fund. The most heavily invested institutionals were LPL Financial LLC ($113.77M), Wells Fargo & Company MN ($34.96M), Raymond James Financial Inc. ($29.41M), Cetera Investment Advisers ($28.09M), Bank of America Corp DE ($23.69M), First Trust Advisors LP ($20.80M), and Royal Bank of Canada ($16.60M).Learn more on First Trust Small Cap Growth AlphaDEX Fund's institutional investors.

Of the 138 institutional investors that purchased First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: LPL Financial LLC ($418.96K), Raymond James Financial Inc. ($329.55K), Wells Fargo & Company MN ($235.54K), Cetera Investment Advisers ($227.65K), Bank of America Corp DE ($164.77K), Eclectic Associates Inc. ADV ($153.92K), and Richmond Investment Services LLC ($122.80K).

Institutional investors have bought a total of 1,871,387 shares in the last 24 months. This purchase volume represents approximately $171.77M in transactions.

Of the 49 institutional investors that sold First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Bank of America Corp DE ($50.99K), First Trust Advisors LP ($38.53K), Kingsview Wealth Management LLC ($31.30K), Envestnet Asset Management Inc. ($19.09K), Ashton Thomas Private Wealth LLC ($18.25K), Moneywise Inc. ($16.48K), and Benjamin Edwards Inc. ($16.33K).

Institutional investors have sold a total of 287,842 shares in the last 24 months. This volume of shares sold represents approximately $25.88M in transactions.


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This page (NASDAQ:FYC) was last updated on 5/22/2026 by MarketBeat.com Staff.
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